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Nicholas M Pagliai

Northwestern Mutual Investment Services, LLC

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About Nicholas M Pagliai

Nicholas Pagliai is an Investment Advisor Representative at Northwestern Mutual Investment Services, LLC in Seattle, Washington. Nicholas has been in the industry since 2016 and has experience working at firms like Fifth Third Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas has also held positions at Klevens Capital Management and Antoine Toussaint.

Firm Information

Nicholas Pagliai is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Nicholas Pagliai’s Registration & Firm History

WA

11/09/2020 - Present

Northwestern Mutual Investment Services, LLC (SEATTLE WA)

WA

02/05/2020 - 10/21/2020

KMS FINANCIAL SERVICES, INC. (BELLEVUE WA)

WA

06/27/2019 - 11/21/2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SEATTLE WA)

IL

06/25/2018 - 05/31/2019

FIFTH THIRD SECURITIES, INC. (NAPERVILLE IL)

IL

08/11/2017 - 04/27/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROLLING MEADOWS IL)

IL

10/28/2016 - 07/24/2017

FIFTH THIRD SECURITIES, INC. (LAKE FOREST IL)

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Licenses & Designations

BOTH

Issued 10/21/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/19/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/24/2017

Series 7 - General Securities Representative Examination

BC

Issued 10/28/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas M Pagliai.
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